EFTA Document EFTA01398660

EFTA01398660 EFTA01398661 COVERAGE-Domestic Case Number Customer Name Created By Opened Date Product Description Exception Ex pires Created Alias Escalation Manager Silo Reason for Exception Fax Copies Exception Days Overdue 01175721 107227 Canada Inc Janet Sible 1/8/2014 IA ABR- Please vett the signors with W-8 Ben for approval. NAO Case* 7306319 (FOR ADVISOR SELECT IA ACC) KYC# 1156121 Conte ct: Janet Sible 312-952-9280 New ADVISOR SELECT account - Manager Clearbridge 1/22/2014 PB S -CH Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Temp orary exception granted for the DB corporate resolutions. E-mail is attached N 226 01250909 9800 La Cienega, LLC Mayra Fonseca 6/30/2014 Business Checking ABR pls approve the case with a roved W-9 Thanks Please open new money market KYC 1236985 NAO 8128595 R eserved Account Number- Thank you. 7/22/2014 PB S-LA liN/A COVERAGE-Domestic This case has been given temporary exception for two Weeks for W-9 Tax form by Vaishali-p Mehta. N 97 01163565 Millstein & Co. LLC Marjorie Hansen-Cosby 12/12/2013 Banking ABR, Please vett the signatories and approve the case with W-9. NAO CaseI7187995 KYCI839146 Contact: Marjorie Ha nsen-Cosby 12/18/2013 PB S-NY Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic 1 week TE for corrected Cert of LLC Resolutions N 251 01244488 Gummy HR, LLC Cynthia Rodriguez 6/16/2014 Please vett the signers with W-9 approval. DDA Account Type - 10 APY - 0.00% MMDA Account Type - st Plan - 129 APY - 0. 20% KYC 01242729 NAO 8045240 RUSH CASE: Reserved account numbers are and Please e mail once these account are officially opene . T an you. 7/16/2014 PB S-NY N A COVERAGE-Domestic Please approve with temporary exception of 30 days as per th e email so we can track the originals N 101 01255244 Lazar & Faigy, Inc. Brigid Ehrenberg 7/10/2014 New Business Checkin g without Interest account On Line Banking:-No DDA Rate Type:- 10 APY:-0.00% ABR, Please vett the signers and appro ve the case with W-9 PLEASE OPEN ACCOUNT: LAZAR & FAIGY, INC. NAO 8061395 KYC 01215485 7/25/2014 PB S-NY tN/A COVERAGE-Domestic Temporay exception has been approved for two weeks, to obtai n the new version of the W9 (version August 2013). See attached approval. N 94 01287301 Heinz Eppler Life Insurance Trust 1993 Anna-Sofiya Lupolover 9/30/2014 ABR pls Vett the signor with approve W-9. Thanks Please open a checking account for E p ler Life Insuranc e Trust U/A/D 09/14/93. KYC Case -- 01284216 NAO Case -- 8554143 Please email with Account t as soon as it is completed. 10/14/2014 PB S-NY IN/A 2 week temporary exception is approved for our standard letter to be signed by the Trustee and the L imited Agents, to be provided by Tammy N 37 COVERAGE-Domestic EFTA01398662